Legal Disclosures

Securities and Advisory Services

Securities and advisory products offered through Principal Securities, Inc., member SIPC. Principal National Life Insurance Company (except NY) and Principal Life Insurance Company. Principal Securities, Inc. is a member of the Principal Financial Group®, Des Moines, IA 50392.

[Add required local office address/phone and additional disclosures per Principal compliance.]

Investment Advisory Services

Investment advisory services are offered through Principal Securities, Inc. as a Registered Investment Adviser. Principal Securities, Inc. is a member of the Principal Financial Group®.

Important Disclaimers

Insurance Products

Insurance products are offered through Principal National Life Insurance Company (except in New York) and Principal Life Insurance Company. Plan administrative services may be provided by Principal Life Insurance Company. Principal Funds, Inc. is distributed by Principal Funds Distributor, Inc.

SIPC Protection

Securities offered through Principal Securities, Inc. are protected by SIPC (Securities Investor Protection Corporation) up to $500,000, including $250,000 for cash claims. SIPC protection does not cover investment losses due to market fluctuations.

Business Continuity

Principal Securities, Inc. maintains a business continuity plan to ensure continued service to clients in the event of a significant business disruption. For more information about our business continuity plan, please contact our office.

Regulatory Information

Principal Securities, Inc. is registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).

You may obtain information about Principal Securities, Inc. and its representatives from FINRA's BrokerCheck database at brokercheck.finra.org.

Contact Information

For questions about these disclosures or our services, please contact: